Tag: Compliance
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Axxcess Wealth End of Year Meeting
Axxcess Wealth Management’s mandatory end of year meeting is approaching quickly. We have a few important notes. Please bring a laptop or tablet. We will be providing WiFi. There will be an hour-long reception right after the meeting. If you have not yet confirmed that you will be at the meeting, please email Theresa at…
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EC Is Working on a Fiduciary Rule Proposal
The next step in establishing a uniform fiduciary standard would be a rule proposal, and the Securities and Exchange Commission is working on one, said Chairman Jay Clayton, testifying before the House of Representatives’ Committee on Financial Services on Wednesday. The agency is coordinating with the Department of Labor, whose fiduciary standard already went into effect…